0001397911-18-000197.txt : 20181031 0001397911-18-000197.hdr.sgml : 20181031 20181031183957 ACCESSION NUMBER: 0001397911-18-000197 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181030 FILED AS OF DATE: 20181031 DATE AS OF CHANGE: 20181031 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Audette Matthew J CENTRAL INDEX KEY: 0001435098 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34963 FILM NUMBER: 181151408 MAIL ADDRESS: STREET 1: C/O DAVIS POLK & WARDWELL STREET 2: 450 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LPL Financial Holdings Inc. CENTRAL INDEX KEY: 0001397911 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY & COMMODITY BROKERS, DEALERS, EXCHANGES & SERVICES [6200] IRS NUMBER: 203717839 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 75 STATE STREET STREET 2: 22ND FLOOR CITY: BOSTON STATE: MA ZIP: 02109 BUSINESS PHONE: 617 423 3644 MAIL ADDRESS: STREET 1: 75 STATE STREET STREET 2: 22ND FLOOR CITY: BOSTON STATE: MA ZIP: 02109 FORMER COMPANY: FORMER CONFORMED NAME: LPL Investment Holdings Inc. DATE OF NAME CHANGE: 20070427 4 1 wf-form4_154102558132346.xml FORM 4 X0306 4 2018-10-30 0 0001397911 LPL Financial Holdings Inc. LPLA 0001435098 Audette Matthew J C/O LPL FINANCIAL HOLDINGS INC. 75 STATE STREET, 22ND FLOOR BOSTON MA 02109 0 1 0 0 Chief Financial Officer Common Stock 2018-10-30 4 F 0 2909 58.64 D 32974 D Consists of (i) 15,613 shares of Common Stock; (ii) 3,842 restricted stock units that vest in full on February 25, 2019; (iii) 3,111 restricted stock units that vest in full on February 25, 2019; (iv) 5,277 restricted stock units that vest ratably on each of March 13, 2019 and March 13, 2020; and (v) 5,131 restricted stock units that vest ratably on each of February 23, 2019, February 23, 2020 and February 23, 2021. The signatory is signing on behalf of Matthew J. Audette pursuant to a Power of Attorney dated September 30, 2015. /s/ Gregory M. Woods, attorney-in-fact 2018-10-31